13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-08-13, with 3,458 holding rows worth $57,394,151,000.
- Accession
- 0001403438-20-000006
- Filer
- CIK 1403438
- Filed
- 2020-08-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2020
A holdings report, 3,458 entries on the cover page, a total value of $57,394,151,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $57,394,151,000 with VALUE read as thousands by filing date, 13F file number 028-12526. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 6,526 | $238,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 16,277 | $238,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 29,218 | $238,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 3,041 | $238,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 3,434 | $237,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 6,699 | $237,000 | thousands by filing date | |
| UFP INDUSTRIES INC | 90278Q108 | COM | 4,784 | $237,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 29,281 | $237,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 4,349 | $236,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 20,065 | $236,000 | thousands by filing date | |
| HESS MIDSTREAM LP | 428103105 | CL A SHS | 12,907 | $236,000 | thousands by filing date | |
| LISTED FDS TR | 53656F847 | CORE ALT FD | 8,496 | $236,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 16,318 | $236,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 43,228 | $236,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 23,479 | $236,000 | thousands by filing date | |
| HARBORONE BANCORP INC NEW | 41165Y100 | COM NEW | 27,639 | $236,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 43,942 | $236,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 4,911 | $235,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 3,660 | $235,000 | thousands by filing date | |
| QIAGEN NV | N72482123 | SHS NEW | 5,501 | $235,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 12,361 | $233,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 52,749 | $233,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 17,579 | $233,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 17,054 | $233,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 9,353 | $233,000 | thousands by filing date | |
| ASHLAND INC | 044186104 | COM | 3,364 | $232,000 | thousands by filing date | |
| TRUSTMARK CORP | 898402102 | COM | 9,417 | $231,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 34,783 | $231,000 | thousands by filing date | |
| PROSHARES TR | 74347B185 | FUND | 11,480 | $231,000 | thousands by filing date | |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 9,425 | $230,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 12,633 | $230,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 43,160 | $230,000 | thousands by filing date | |
| PRA HEALTH SCIENCES INC | 69354M108 | COM | 2,361 | $230,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 10,766 | $229,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES INC | 57778K105 | COM | 12,742 | $229,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 2,256 | $229,000 | thousands by filing date | |
| ENERGIZER HLDGS INC NEW | 29272W208 | 7.5 MCNV PFD A | 2,380 | $229,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 2,928 | $228,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 14,815 | $228,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 9,041 | $227,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 8,189 | $226,000 | thousands by filing date | |
| XEROX HOLDINGS CORP | 98421M106 | COM NEW | 14,749 | $226,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 3,257 | $226,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 13,808 | $226,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 22,827 | $226,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 13,140 | $225,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 746 | $225,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 17,476 | $225,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 6,031 | $224,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 16,488 | $224,000 | thousands by filing date | |
| RLJ LODGING TR COM | 74965L101 | REIT | 23,634 | $223,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 8,682 | $223,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 67,597 | $223,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F171 | GREEN BOND ETF | 8,103 | $223,000 | thousands by filing date | |
| FLOOR & DECOR HLDGS INC CL A | 339750101 | Stock | 3,849 | $222,000 | thousands by filing date | |
| ARES MANAGEMENT CORPORATION CL A COM STK | 03990B101 | Stock | 5,593 | $222,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 5,190 | $222,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 23,783 | $222,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 87,519 | $222,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 6,125 | $222,000 | thousands by filing date | |
| VROOM INC | 92918V109 | COM | 4,250 | $222,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 1,200 | $221,000 | thousands by filing date | put |
| COLUMBIA FINANCIAL INC | 197641103 | COMMON STOCK | 15,850 | $221,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 16,400 | $221,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 11,215 | $221,000 | thousands by filing date | |
| PRINCIPIA BIOPHARMA INC | 74257L108 | COM | 3,701 | $221,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 7,279 | $220,000 | thousands by filing date | |
| PDD HOLDINGS INC SPONSORED ADS | 722304102 | ADR | 2,562 | $220,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 42,052 | $220,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 55,640 | $219,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 11,534 | $219,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 10,316 | $219,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A408 | mc | 16,082 | $219,000 | thousands by filing date | |
| HANCOCK WHITNEY CORPORATION | 410120109 | COM | 10,268 | $218,000 | thousands by filing date | |
| BARNES GROUP INC | 067806109 | COM | 5,507 | $218,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 8,776 | $216,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 4,456 | $216,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 4,653 | $216,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 225,000 | $216,000 | thousands by filing date | principal |
| FULLER H B CO COM | 359694106 | Stock | 4,827 | $215,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 4,894 | $215,000 | thousands by filing date | |
| DBX ETF TR | 233051515 | XTRACKERS FTSE | 8,488 | $215,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 8,522 | $215,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 9,577 | $215,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 5,330 | $214,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 6,956 | $214,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 15,886 | $214,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 9,826 | $212,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 7,235 | $212,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33741X102 | SMID RISNG ETF | 12,013 | $211,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 2,170 | $211,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 9,183 | $210,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 6,105 | $210,000 | thousands by filing date | |
| PIMCO ENRGY TACTICAL CR OPP FD | 69346N107 | COM SHS BEN INT | 29,794 | $210,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 7,064 | $210,000 | thousands by filing date | |
| ISHARES | 46435U432 | EXCHANGE TRADED | 7,551 | $210,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 7,606 | $210,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 35,105 | $210,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 2,200 | $209,000 | thousands by filing date | put |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,400 | $209,000 | thousands by filing date | put |
| OPENLANE INC | 48238T109 | COM | 15,192 | $209,000 | thousands by filing date | |
| FRONTDOOR INC COM | 35905A109 | Stock | 4,688 | $208,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 16,056 | $208,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 18,400 | $208,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 22,270 | $207,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 13,839 | $207,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 21,520 | $207,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 17,755 | $207,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 11,676 | $207,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 18,449 | $206,000 | thousands by filing date | |
| LINCOLN ELEC HLDGS INC | 533900106 | COM | 2,448 | $206,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 21,781 | $206,000 | thousands by filing date | |
| PROSHARES TR | 74347B169 | CMN | 4,000 | $206,000 | thousands by filing date | |
| WESTERN MIDSTREAM PARTNERS L | 958669103 | COM UNIT LP INT | 20,382 | $205,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 7,867 | $205,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 1,000 | $204,000 | thousands by filing date | put |
| GENTHERM INC | 37253A103 | COM | 5,242 | $204,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767876 | EMRNG MKT CONS | 7,850 | $204,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 44,283 | $204,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 3,400 | $203,000 | thousands by filing date | put |
| ISHARES TR | 46435U861 | CORE DIVID ETF | 7,434 | $203,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 14,514 | $203,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 6,170 | $203,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 11,917 | $203,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 4,247 | $202,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 14,646 | $202,000 | thousands by filing date | |
| BWX TECHNOLOGIES INC | 05605H100 | COM | 3,557 | $201,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 13,793 | $201,000 | thousands by filing date | |
| CABOT MICROELECTRONICS CORP | 12709P103 | COM | 1,444 | $201,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 13,544 | $200,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 13,408 | $199,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 14,536 | $198,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 14,378 | $198,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 28,062 | $197,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 25,921 | $197,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 14,682 | $196,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 12,683 | $194,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 26,736 | $193,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 210,000 | $193,000 | thousands by filing date | principal |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 13,984 | $190,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 37,187 | $189,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 22,667 | $187,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 33,327 | $186,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 19,346 | $186,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 55,467 | $186,000 | thousands by filing date | |
| SIBANYE STILLWATER LTD SPONSORED ADR | 82575P107 | ADR | 21,377 | $185,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 37,129 | $185,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 26,362 | $185,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 11,639 | $185,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 10,465 | $184,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 26,244 | $183,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 13,190 | $181,000 | thousands by filing date | |
| CADENCE BANCORP | 12739A100 | COMMON EQUITY | 20,311 | $180,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 51,045 | $179,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 12,794 | $178,000 | thousands by filing date | |
| SURO CAP CORP | 86887Q109 | COM NEW | 20,990 | $178,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 17,669 | $178,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 43,515 | $177,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 16,532 | $176,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 10,871 | $176,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 17,757 | $176,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 13,168 | $175,000 | thousands by filing date | |
| FFBW INC MD | 30260M103 | COM | 20,348 | $175,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 27,274 | $174,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 24,490 | $174,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 11,030 | $174,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 62,811 | $173,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 16,872 | $172,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 30,750 | $171,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 16,109 | $171,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 28,000 | $171,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 41,730 | $170,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 18,920 | $170,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 13,301 | $169,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 15,500 | $168,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 12,350 | $168,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 25,513 | $168,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 18,743 | $167,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 14,596 | $166,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 13,860 | $166,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 19,019 | $164,000 | thousands by filing date | |
| JEFFERIES FINANCIAL GROUP IN | 47233W109 | COM | 10,481 | $163,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 45,131 | $163,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 12,089 | $162,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 43,391 | $161,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 27,171 | $161,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 12,081 | $161,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 19,054 | $160,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 12,120 | $159,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 18,349 | $158,000 | thousands by filing date | |
| FORTE BIOSCIENCES INC | 34962G109 | COM | 10,870 | $158,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 11,563 | $157,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 15,046 | $157,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 48,055 | $157,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 56,801 | $156,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 18,313 | $155,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 11,750 | $154,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 12,347 | $153,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 37,362 | $152,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 22,759 | $152,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A200 | BLNCD MLTI AST | 11,447 | $152,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 18,451 | $151,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 10,768 | $149,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 12,505 | $148,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 10,724 | $148,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 21,928 | $148,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 33,021 | $148,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 15,521 | $146,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 11,431 | $146,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 18,029 | $145,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 12,828 | $145,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A685 | REVERSE WEIGHT | 10,000 | $145,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 30,151 | $144,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A507 | MDRTLY CNSRTIV | 10,913 | $144,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 13,026 | $143,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 43,974 | $143,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 13,025 | $142,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 10,174 | $142,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 10,748 | $142,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 13,263 | $141,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 16,826 | $141,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 13,456 | $141,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 53,000 | $140,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 10,844 | $140,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 14,129 | $140,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 12,992 | $139,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 33,885 | $139,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 10,753 | $139,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 42,436 | $139,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 29,327 | $138,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 16,082 | $138,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 23,825 | $138,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 16,251 | $137,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 21,907 | $137,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 11,172 | $137,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 97,000 | $136,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 28,057 | $135,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 10,695 | $134,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 12,687 | $134,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 33,005 | $134,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 18,395 | $133,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 14,515 | $133,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 22,921 | $133,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 55,268 | $133,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 65,890 | $132,000 | thousands by filing date | |
| BROOKFIELD PPTY REIT INC | 11282X103 | CL A | 13,194 | $131,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 10,413 | $131,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 24,400 | $131,000 | thousands by filing date | |
| RESIDEO TECHNOLOGIES INC COM | 76118Y104 | Stock | 11,107 | $130,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 15,694 | $129,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 10,955 | $129,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N300 | CL A | 10,071 | $129,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 24,845 | $127,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 30,970 | $127,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 14,095 | $126,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 13,656 | $125,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 11,659 | $125,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 13,906 | $125,000 | thousands by filing date | |
| LIVENT CORP | 53814L108 | COM | 20,203 | $124,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 14,500 | $124,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 14,533 | $124,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 15,441 | $123,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 12,929 | $123,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 13,583 | $123,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 16,054 | $122,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 26,500 | $122,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 12,578 | $120,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 22,195 | $119,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 17,488 | $119,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 17,678 | $118,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 22,926 | $118,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 10,890 | $117,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 13,090 | $116,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 12,143 | $115,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 29,357 | $115,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 12,090 | $114,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 16,249 | $113,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 12,218 | $113,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 11,303 | $112,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 14,507 | $112,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 17,250 | $111,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 10,530 | $108,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 13,183 | $107,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 12,700 | $104,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 11,543 | $103,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 12,239 | $102,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 31,960 | $102,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 18,420 | $102,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 16,766 | $102,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 86,032 | $99,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 11,960 | $99,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 13,117 | $96,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 127,783 | $96,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 112,997 | $96,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 11,787 | $95,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 13,355 | $95,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 16,112 | $95,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 19,405 | $94,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 11,150 | $94,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 10,968 | $93,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 10,126 | $93,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 10,211 | $92,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 14,870 | $91,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 48,904 | $89,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 31,404 | $89,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 27,508 | $89,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 32,594 | $88,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 13,737 | $87,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 18,261 | $87,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 28,233 | $86,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 38,000 | $86,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 15,140 | $85,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 11,006 | $84,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 19,077 | $83,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 133,935 | $83,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 18,270 | $82,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 12,175 | $80,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 17,560 | $78,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 10,567 | $78,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 29,135 | $76,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 13,891 | $76,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 12,614 | $76,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 32,196 | $74,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 23,410 | $74,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 14,270 | $73,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 139,940 | $72,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 10,500 | $72,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 20,177 | $69,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 19,625 | $68,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 13,943 | $68,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 24,350 | $68,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 34,207 | $67,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 10,000 | $66,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 13,533 | $66,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 25,612 | $66,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 89,650 | $65,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 17,069 | $64,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 10,624 | $64,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 12,606 | $64,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 12,518 | $64,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 16,035 | $62,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 10,600 | $58,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 15,450 | $58,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 10,000 | $55,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 63,740 | $54,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 15,240 | $53,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 25,033 | $53,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 42,250 | $53,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 19,643 | $52,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 23,888 | $50,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 16,472 | $49,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 76,500 | $49,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 62,355 | $48,000 | thousands by filing date | |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 25,227 | $46,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 24,778 | $46,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 50,000 | $46,000 | thousands by filing date | principal |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 18,970 | $45,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 15,000 | $45,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 54,712 | $45,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 20,025 | $44,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 23,731 | $44,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 37,778 | $43,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 43,302 | $42,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 14,739 | $41,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 12,631 | $41,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 100,464 | $41,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 16,642 | $40,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 33,140 | $40,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 25,000 | $40,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 13,973 | $39,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 27,197 | $38,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 10,625 | $37,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 10,863 | $37,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 10,055 | $37,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 10,450 | $36,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 13,820 | $36,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 11,708 | $36,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 46,261 | $35,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 17,756 | $35,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 15,517 | $34,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 144,120 | $34,000 | thousands by filing date | |
| NULL | 09071M205 | NULL | 19,876 | $34,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 11,858 | $33,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 15,689 | $32,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 15,650 | $32,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 12,864 | $31,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 24,952 | $29,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 22,078 | $29,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 106,221 | $29,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 20,906 | $29,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 33,900 | $29,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 30,000 | $29,000 | thousands by filing date | principal |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 11,450 | $28,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 17,381 | $27,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 14,492 | $25,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 18,865 | $25,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 13,510 | $25,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 25,000 | $25,000 | thousands by filing date | principal |
| ACCURAY INC DEL | 004397105 | COM | 11,779 | $24,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 10,771 | $24,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 32,581 | $24,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 12,392 | $24,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 43,011 | $24,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 12,554 | $23,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 10,310 | $23,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 11,480 | $23,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 28,041 | $23,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 17,474 | $23,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $22,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 25,649 | $22,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 17,000 | $21,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 40,000 | $21,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 24,000 | $21,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 22,080 | $21,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 14,250 | $20,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 14,942 | $20,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 27,000 | $20,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 20,000 | $20,000 | thousands by filing date | principal |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 11,895 | $20,000 | thousands by filing date | principal |
| ZION OIL & GAS INC | 989696109 | COM | 62,744 | $19,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 15,064 | $18,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 14,000 | $18,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 15,392 | $18,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 10,240 | $18,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 15,485 | $17,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 12,935 | $17,000 | thousands by filing date | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 13,000 | $16,000 | thousands by filing date | principal |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 11,790 | $16,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 10,000 | $16,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 10,000 | $15,000 | thousands by filing date | principal |
| SPLUNK INC | 848637AD6 | BOND | 10,000 | $15,000 | thousands by filing date | principal |
| PARTY CITY HOLDCO INC | 702149105 | COM | 10,275 | $15,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 17,462 | $15,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 18,350 | $15,000 | thousands by filing date | |
| HEXINDAI INC | 428295109 | ADR | 18,000 | $15,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 15,900 | $14,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 13,000 | $14,000 | thousands by filing date | principal |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 10,000 | $13,000 | thousands by filing date | principal |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 20,931 | $11,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 12,000 | $11,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 10,000 | $11,000 | thousands by filing date | principal |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 11,772 | $10,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 30,410 | $10,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 11,829 | $9,000 | thousands by filing date | |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 12,898 | $8,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 17,000 | $8,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 14,411 | $7,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 22,191 | $7,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 20,012 | $7,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 10,000 | $7,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 10,000 | $7,000 | thousands by filing date | |
| T-Mobile US Inc Rights 20 | 872590112 | RIGHT 07/27/2020 | 38,016 | $6,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 15,000 | $6,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 11,825 | $6,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 17,500 | $6,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 13,942 | $5,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 18,587 | $5,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 17,947 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-20-000006 | this filing | 2020-08-13 | acceptance time not in the bulk data set |